Office of Hearing Officers’ Decisions and Orders
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| April 15, 2013 | 2011030192201 | Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III | Disciplinary Decision | |
| April 04, 2013 | 20070094013 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| March 21, 2013 | 2010024837301 | Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro | Disciplinary Decision | |
| March 21, 2013 | 2009017527501 | Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson | Disciplinary Decision | |
| March 15, 2013 | 20080127674, 20080133768 | Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris | Disciplinary Decision | |
| March 15, 2013 | 2010021621201 | Hearing Panel Decision in Department of Enforcement v. Michael Pino | Disciplinary Decision | |
| March 13, 2013 | 2011026874301 | Memorandum Order Directing Respondent to Comply with Rule 8210 Request for Information Regarding Respondent’s Reliance on Counsel Defense | Disciplinary Order | 13-02 |
| March 12, 2013 | 2011025674101 | Hearing Panel Decision in Department of Enforcement v. Shlomi S. Eplboim | Disciplinary Decision | |
| March 04, 2013 | 2008013864401 | Amended Hearing Panel Decision in Department of Enforcement v. Michael Jennings, Brian Mulvey and Respondent 3 | Disciplinary Decision | |
| February 26, 2013 | 2010024320101 | Hearing Panel Decision in Department of Enforcement v. Timothy M. Wheeler | Disciplinary Decision | |
| February 21, 2013 | 2011029760201 | Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. | Disciplinary Decision | |
| February 19, 2013 | 2011029152401 | Hearing Panel Decision in Department of Enforcement v. William B. Smith | Disciplinary Decision | |
| January 25, 2013 | 2009017798902 | Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 | Redacted Decision | |
| January 18, 2013 | 2010023044101 | Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci | Disciplinary Decision | |
| January 11, 2013 | 2009016764901 | Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker | Disciplinary Decision | |
| January 04, 2013 | FPI120005 | Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein | Expedited Decision, Rule 9550 Expedited Decisions | |
| January 04, 2013 | 2010023349601 | Hearing Panel Decision in Department of Enforcement v. Denise M. Olson | Disciplinary Decision | |
| January 02, 2013 | 2009019108901 | Order Denying Motion by Respondent 1 for an Extension of Time – Hearing | Disciplinary Order | 13-01 |
| December 17, 2012 | 2009020081301 | Amended Hearing Panel Decision in Department of Enforcement v. William M. Somerindyke, Jr. and Respondent 2 | Disciplinary Decision | |
| December 06, 2012 | FPI120012 | Hearing Panel Decision in Department of Enforcement v. Steven Barbot | Expedited Decision, Rule 9550 Expedited Decisions | |
| November 30, 2012 | 20100248883-01 | Hearing Panel Decision in Department of Enforcement v. Richard N. Maruyama | Disciplinary Decision | |
| November 19, 2012 | 2009018377601 | Hearing Panel Decision in Department of Enforcement v. Michael J. Binstock | Disciplinary Decision | |
| November 09, 2012 | 2010020846601 | Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony | Disciplinary Order | 12-07 |
| November 01, 2012 | 2011025643201 | Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay | Disciplinary Decision | |
| October 25, 2012 | 2010022128301 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision |